David Staples

SALOMON AND LUDWIN

Richmond, VA 23238

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CRD#: 5537538

Professional summary

David Staples, CFP® is a registered financial advisor currently at SALOMON AND LUDWIN located in Richmond, Virginia.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Staples's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

April 10, 2018 - Present

SALOMON AND LUDWIN

Office #1: 1401 Gaskins Road, Richmond, VA 23238

RIA

CRD#: 292456

Richmond, VA

Past

November 15, 2010 - April 4, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

RICHMOND, VA

Past

November 15, 2010 - April 4, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

RICHMOND, VA

Past

September 9, 2009 - October 25, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WILLIAMSBURG, VA

Past

July 24, 2009 - October 25, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WILLIAMSBURG, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SALOMON AND LUDWIN

SALOMON AND LUDWIN | SALOMON AND LUDWIN, LLC

CRD#: 292456 / SEC#: 801-112494

RIA

Registered Investment Advisory firm - (2/22/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(7/2/2018)

IAR

Virginia
(4/10/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2009

General Securities Representative Examination

Current Firm

SALOMON AND LUDWIN

SALOMON AND LUDWIN | SALOMON AND LUDWIN, LLC

CRD#: 292456 / SEC#: 801-112494

RIA

Registered Investment Advisory firm - (2/22/2018 Approved)

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Contact information

Main Address

1401 Gaskins Road, Richmond, VA 23238

Mailing Address

Phone number

(804) 592-4999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (4/16/2025)

2A BROCHURE (4/16/2025)

Regulatory assets under management

Total Number of Accounts	1,773
AUM (Assets Under Management)	$ 1,227,068,596

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David Staples

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Staples's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

SALOMON AND LUDWIN

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2009

SIE

Date: 4/4/2018

Series 7

Date: 7/23/2009

Current Firm

SALOMON AND LUDWIN

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SALOMON AND LUDWIN

TRUST BUT VERIFY

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